AML Compliance Working Group Content

    [23311]   March 11, 2009 TO: AML COMPLIANCE WORKING GROUP No. 2-09     RE: FINCEN ISSUES PROPOSED RULES AND GUIDANCE ON SUSPICIOUS ACTIVITY REPORTS   On March 3, 2009, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued for comment proposed rules...

    [23160]   January 6, 2009 TO: COMPLIANCE MEMBERS No. 1-09 AML COMPLIANCE WORKING GROUP No. 1-09 BROKER/DEALER ADVISORY COMMITTEE No. 1-09 SEC RULES MEMBERS No. 1-09 SMALL FUNDS MEMBERS No. 2-09 OPERATIONS COMMITTEE No. 1-09 TRANSFER AGENT ADVISORY COMMITTEE No. 2-09     RE: FINRA...

    [23045]   November 4, 2008 TO: AML COMPLIANCE WORKING GROUP No. 6-08     RE: OPPORTUNITY TO DISCUSS AML ISSUES - THURSDAY, NOVEMBER 13   The AML Compliance Working Group will have a conference call on Thursday, November 13th at 2:00 p.m. (EST) to discuss the following items:  ...

[23046] November 4, 2008 TO: AML COMPLIANCE WORKING GROUP No. 5-08 RE: FINCEN WITHDRAWS DATED AML RULE PROPOSALS FOR UNREGISTERED INVESTMENT COMPANIES, COMMODITY TRADING ADVISORS, AND INVESTMENT ADVISERS On October 30th the Financial Crimes Enforcement Network (FinCEN) announced that...

    [22785]   August 8, 2008 TO: AML COMPLIANCE WORKING GROUP No. 4-08 COMPLIANCE MEMBERS No. 38-08 TRANSFER AGENT ADVISORY COMMITTEE No. 41-08     RE: SEC ANNOUNCES TWO NEW ANTI-MONEY LAUNDERING COMPLIANCE INITIATIVES   The Securities and Exchange Commission (the “Commission”)...

    [22775]   August 6, 2008 TO: COMPLIANCE MEMBERS No. 37-08 SEC RULES MEMBERS No. 75-08 SMALL FUNDS MEMBERS No. 49-08 AML COMPLIANCE WORKING GROUP No. 3-08 BROKER/DEALER ADVISORY COMMITTEE No. 25-08 OPERATIONS COMMITTEE No. 13-08 TRANSFER AGENT ADVISORY COMMITTEE No. 40-08     RE...

    [22332]   March 14, 2008 TO: AML COMPLIANCE WORKING GROUP No. 2-08 OPERATIONS COMMITTEE No. 6-08 TRANSFER AGENT ADVISORY COMMITTEE No. 15-08     RE: TAAC SUSPICIOUS ACTIVITY REPORTING ("SAR") SURVEY II RESULTS   The Transfer Agent Advisory Committee established a task force...

    [22190]   February 5, 2008 TO: AML COMPLIANCE WORKING GROUP No. 1-08     RE: FINCEN GUIDANCE ON THE CORRESPONDENT ACCOUNT RULES AND THE PRESENTATION OF NEGOTIABLE INSTRUMENTS FOR PAYMENT   The Financial Crimes Enforcement Network (FinCEN) published interpretive guidance on January...

  [21956]   November 15, 2007 TO: AML COMPLIANCE WORKING GROUP No. 9-07 RE: U.S. TREASURY DEPARTMENT SOLICITS APPLICATIONS FOR MEMBERSHIP ON THE BANK SECRECY ACT ADVISORY GROUP   The Financial Crimes Enforcement Network (“FinCEN”) of the U.S. Treasury Department is soliciting...

  [21855]   October 18, 2007 TO: AML COMPLIANCE WORKING GROUP No. 8-07 TRANSFER AGENT ADVISORY COMMITTEE No. 73-07 RE: FINCEN ISSUES ADVISORY TO U.S. FINANCIAL INSTITUTIONS ON INCREASED MONEY LAUNDERING THREAT INVOLVING ILLICIT IRANIAN ACTIVITY   The Financial Crimes Enforcement...